) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (4) provisions of investment analysis and consultation to clients shall comply with the
application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7) there are no grounds
) Summary of management’s discussion and analysis: describe only significant items
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means
and shall not create any conflict of interest; (4) not having any of the following prohibited characteristics: (a) having reasonable grounds to believe that the person acts or has acted in a manner
(technical vulnerability assessment) ข้อ 8.10 การทดสอบการเจาะระบบงาน (penetration test) ข้อ 8.11 การบริหารจัดการโปรแกรมแก้ไขช่องโหว่ (patch management) 2.4 ส่วนที่ 11 การบริหารจัดการเหตุการณ์ผิดปกติด้าน IT (IT